US Material Events SEC 8-K Filings — March 09, 2026

09-03-2026

Aureus Greenway Holdings Inc. (AGH) entered into an Agreement and Plan of Merger dated March 8, 2026, with Autonomous Power Corporation, Aureus Merger Sub Inc., and Andrew Fox as Stockholder Representative, under which AGH's wholly-owned subsidiary will merge with Autonomous Power, surviving as a wholly-owned subsidiary of AGH. The Parent Board and Company Board unanimously approved the transaction, with requisite stockholder consents to be delivered promptly, and the merger is intended to qualify as a tax-free reorganization under Section 368(a) of the Code. AGH will amend its charter to change its name to Powerus Corporation effective at closing.

• ·Filing Date: March 09, 2026
• ·Agreement Date: March 8, 2026
• ·Closing to occur on second Business Day after satisfaction of conditions in Article VI
• ·Simultaneous execution of Lock-Up Agreements (Exhibit A) by Company Significant Holders and Leak-Out Agreements (Exhibit B) by Parent Significant Holders, effective at Closing
• ·Parent name change to Powerus Corporation via Parent Charter Amendment

09-03-2026

Netlist, Inc. entered into the First Amendment to Lease with University Research Park LLC, dated March 4, 2026, as reported in this 8-K filing under Item 1.01 (Entry into a Material Definitive Agreement). The amendment is attached as Exhibit 10.1. The filing was signed by Gail M. Sasaki, Executive Vice President and Chief Financial Officer, on March 9, 2026.

09-03-2026

On March 6, 2026, Phillips 66's Board of Directors increased its size from 14 to 16 members and appointed Kevin O. Meyers (age 72) and Howard I. Ungerleider (age 57) as independent directors, effective immediately. Meyers was assigned to the class expiring in 2027 and Ungerleider to the class expiring in 2026; both joined the Audit & Finance Committee and Public Policy and Sustainability Committee. In connection, Grace Puma Whiteford was reclassified as a Class I director with term expiring in 2028.

• ·No arrangements or understandings for appointments; no material interests under Item 404(a) of Regulation S-K.
• ·Pro-rated compensation per standard non-employee director arrangements described in April 8, 2025 proxy statement.

09-03-2026

Longeveron Inc. reported the immediate resignation of Board member and Audit Committee chairman Richard Kender on March 3, 2026, due to his new role as Executive Chairman and Interim CEO at Seres Therapeutics, resulting in temporary non-compliance with Nasdaq Listing Rule 5605(c)(2)(A) for lacking three independent audit committee members and a financial expert. On March 4, 2026, the company appointed existing Board member Dr. Roger Hajjar to the Audit Committee, restoring the minimum three independent members but still without a financial expert. Longeveron plans to appoint or elect a qualified independent audit committee financial expert within the 180-day cure period or at the next annual shareholders' meeting.

• ·Resignation not due to any disagreement with company operations, policies, practices, management, or Board.
• ·Seres Therapeutics announced Kender's new role on March 2, 2026.

09-03-2026

Battalion Oil Corporation entered into a definitive agreement to raise approximately $15 million gross ($14.1 million net after fees) through a private placement of common stock at $5.50 per share and/or prefunded warrants with a new institutional investor, with Roth Capital Partners as sole placement agent. The offering is expected to close on March 4, 2026, subject to customary conditions, with proceeds intended for working capital and general corporate purposes. The company also noted an increase in average oil production of approximately 1,200 net barrels per day in January compared to December.

• ·Expected closing date: March 4, 2026, subject to customary conditions
• ·Company to file resale registration statement on Form S-3 within 20 days of closing
• ·Securities offered in unregistered private placement under Securities Act exemptions
• ·Oil production increase of approximately 1,200 net barrels per day (January vs. December)

09-03-2026

Bunker Hill Mining Corp. closed a brokered LIFE offering of 150,808,332 units at C$0.18 for gross proceeds of C$27,145,500, a concurrent non-brokered private placement of 8,926,668 units for C$1,606,800, and a warrant exercise for C$5,000,000, totaling C$33,752,300 in aggregate proceeds. Net proceeds will fund working capital for the ramp-up of the Bunker Hill Mine to commercial production, exploration, and general corporate purposes. No declines or flat metrics reported; however, the offering involves dilution to existing shareholders and includes minor insider participation of 300,000 units.

• ·Each LIFE Unit includes one Common Share and one Warrant exercisable at C$0.30 for 36 months.
• ·Compensation Options exercisable at C$0.18 for 24 months.
• ·Insider participation relied on exemptions under MI 61-101.
• ·LIFE Units subject to 6-month U.S. hold period; registration statement to be filed within 5 business days.
• ·Announcement date: March 5, 2026; reverse split news releases: February 9, 2026 and March 3, 2026.

09-03-2026

Relmada Therapeutics announced positive 12-month Phase 2 interim data for NDV-01 in high-risk NMIBC, achieving a 76% complete response (CR) rate at 12 months (95% at any time) and 80% CR at 12 months (94% anytime) in BCG-unresponsive patients, with no progression to muscle-invasive disease, no radical cystectomies, and a favorable safety profile (no ≥Grade 3 TRAEs or discontinuations). The results support advancing to the Phase 3 RESCUE registrational program in mid-2026 for 2L BCG-unresponsive and adjuvant intermediate-risk NMIBC. While CR rates showed slight declines over time (87% at 3 months to 76% at 12 months overall), no major negative outcomes were reported.

• ·No patients progressed to muscle-invasive disease or underwent radical cystectomy.
• ·Phase 3 RESCUE Pathway 1: Open-label RCT in adjuvant intermediate-risk NMIBC post-TURBT vs observation (primary endpoint: DFS).
• ·Phase 3 RESCUE Pathway 2: Single-arm trial in 2L BCG-unresponsive NMIBC with CIS (primary endpoint: CR rate at any time).
• ·Upcoming milestones: US IND clearance mid-2026, Phase 3 initiation mid-2026, initial 3-month Phase 3 results YE 2026.
• ·NDV-01 patents protected through 2038; administration <5 minutes without anesthesia.

09-03-2026

Boundless Bio reported Q4 and FY 2025 financial results with reduced R&D expenses (Q4: $9.8M vs $13.3M YoY, -26%; FY: $44.8M vs $55.3M, -19%) and net losses (Q4: $12.9M vs $16.4M, -21%; FY: $58.2M vs $65.4M, -11%), alongside a $108M cash position providing runway into H2 2028. The company opened enrollment in the KOMODO-1 trial for BBI-940 after FDA IND acceptance, but announced cessation of enrollment in the POTENTIATE trial of BBI-355 and BBI-825 due to prioritization. Cash decreased to $107.6M from $152.1M at end-2024.

• ·Total operating expenses Q4 2025: $14.0M vs $18.3M Q4 2024 (-23%)
• ·Total operating expenses FY 2025: $63.6M vs $73.3M FY 2024 (-13%)
• ·Net loss per share FY 2025: $(2.60) vs $(3.85) FY 2024
• ·Accumulated deficit as of Dec 31, 2025: $259.7M (up from $201.5M at end-2024)
• ·Working capital as of Dec 31, 2025: $97.1M (down from $146.3M at end-2024)

09-03-2026

Alexander’s, Inc. (NYSE: ALX) entered into an agreement to sell its unencumbered Rego Park I property in Queens, New York, to Northwell Health, Inc., for a gross purchase price of $235.5M and net proceeds of $202M, expecting a financial statement gain of approximately $147M. The 338,000 sq ft vacant structure on 5.9 acres, built in 1959 with a 1,236-space parking garage, was recently vacated by relocating tenants to adjacent Rego Park II. The sale is subject to customary closing conditions and expected to close by Q3 2026.

• ·Rego Park I located at intersection of Queens Boulevard and Junction Boulevard, adjacent to Long Island Expressway
• ·Property built in 1959 as three-story vacant structure
• ·Tenants relocated to adjacent Rego Park II shopping center
• ·Contact phone: (201) 587-8541

09-03-2026

Fluor Corporation's Executive Chairman David E. Constable announced his retirement effective May 6, 2026, coinciding with the annual stockholders' meeting, with James T. Hackett appointed as the new Board Chair effective May 5, 2026. The company entered a one-year consulting agreement with Constable for $525,200, payable quarterly starting May 6, 2026. The Board also expanded to 12 members and elected independent director Robert G. Card, assigning him to the Audit Committee and Commercial Strategies and Operational Risk Committee.

• ·Board elected Robert G. Card effective March 4, 2026; determined independent under NYSE standards.
• ·Consulting agreement dated March 4, 2026; full text to be filed in Q1 2026 10-Q.
• ·Annual stockholders' meeting scheduled for May 6, 2026.

09-03-2026

enGene Holdings Inc. entered into a Sales Agreement with Leerink Partners LLC on March 9, 2026, enabling at-the-market sales of common shares with an aggregate offering price of up to $100M, subject to a commission of up to 3.0% with no obligation to sell any shares. The company simultaneously terminated its prior sales agreement with Jefferies LLC effective March 6, 2026, under which no common shares were sold and no termination penalties apply. This establishes a new financing vehicle but provides no assurance of actual sales or proceeds.

• ·Termination notice to Jefferies LLC delivered February 27, 2026.
• ·No shares offered or sold in Canada under new Sales Agreement.
• ·Sales pursuant to effective shelf registration on Form S-3 (File No. 333-293597).
• ·Prospectus supplement filed March 9, 2026.

09-03-2026

Ionis Pharmaceuticals announced that long-serving directors B. Lynne Parshall (since September 2000) and Joseph Wender (since January 1994, lead independent director since 2020) will retire at the end of their terms on June 4, 2026. Peter N. Reikes will rejoin the Board effective the same date, bringing expertise from recent roles at ARPA-H and FDA, as well as prior investment banking positions at Stifel, Cowen, and PaineWebber. The changes reflect planned transitions amid the company's growth, with no immediate disruptions noted.

• ·Parshall served as COO (Dec 2007-Dec 2017) and CFO (Jun 1994-Dec 2012)
• ·Wender joined Goldman Sachs in 1971, general partner in 1982, senior consultant since Jan 2008
• ·Reikes: Senior strategy advisor at ARPA-H (Dec 2024-Feb 2026), FDA senior advisor (prior 3+ years), previously Ionis director (2018-2021)
• ·Reikes education: B.A. Economics (UCLA), M.B.A. Finance (Wharton)

09-03-2026

Gulfport Energy Corporation announced the immediate departure of John Reinhart as President, CEO, and Director, potentially introducing leadership uncertainty. An Office of the Chairman has been established, led by Timothy J. Cutt (Chairman and former CEO) alongside executives Michael Hodges (CFO), Matthew Rucker (COO), and Patrick Craine (Chief Legal and Administrative Officer), with a search firm retained for a new CEO. The company emphasized that its 2026 development plan, strategy, and commitment to free cash flow and shareholder returns remain unchanged.

• ·Principal properties in eastern Ohio (Appalachia basin) and central Oklahoma (Anadarko basin)
• ·Investor contact: jantle@gulfportenergy.com, 405-252-4550

09-03-2026

On March 3, 2026, Lightpath Fiber Issuer LLC, a bankruptcy-remote indirect subsidiary of Optimum Communications, Inc., completed a $1.657B securitization financing by issuing Secured Fiber Network Revenue Notes, Series 2026-1, consisting of $1.527B Class A-2 Notes at 5.597% interest and $130M Class B Notes at 5.890% interest. The net proceeds were used to repay in full $1,553.3M of existing debt, including 5.625% senior notes due 2028, 3.875% senior secured notes due 2027, and a term loan facility, with remaining proceeds for general corporate purposes. The notes are secured by fiber network assets and customer contracts in New York City, Boston metro areas, New Jersey, Connecticut, Pennsylvania, and Virginia, with an anticipated repayment date of March 25, 2031, and legal final maturity in March 2056.

• ·Notes subject to rapid amortization if debt service coverage ratio fails to meet thresholds.
• ·Securitized assets include fiber network assets and customer contracts in New York City, Boston metro areas, New Jersey, Connecticut, Pennsylvania, and Virginia.
• ·Legal final maturity date of the Notes: March 2056.

09-03-2026

Spruce Biosciences reported FY2025 financial results with total operating expenses of $36.5M (down 40% YoY from $61.1M) and net loss of $39.0M (improved 26% from $53.0M YoY), driven by lower R&D spending after ceasing tildacerfont development, though G&A rose 16% YoY to $17.0M and collaboration revenue fell to $0 from $4.9M. Cash stood at $48.9M as of Dec 31, 2025, funding operations into early 2027, bolstered by a January 2026 $50M loan facility from Avenue Capital (initial $15M tranche). Key updates include positive FDA Type B meetings supporting Q4 2026 BLA for TA-ERT in MPS IIIB, appointment of Dale Hooks as CCO, and other leadership additions.

• ·Stock-based compensation expenses: $2.6M in FY2025 (down from $5.3M in FY2024)
• ·Net loss per share: $(50.83) in FY2025 vs $(96.40) in FY2024
• ·Weighted-average shares outstanding: 766,598 in FY2025 (up from 550,146 in FY2024)
• ·PRV program reauthorized through September 30, 2029; TA-ERT eligible if approved

09-03-2026

Korro Bio, Inc. (KRRO) announced an oversubscribed $85M PIPE financing led by Venrock Healthcare Capital Partners with participation from new and existing investors, expected to close on or about March 10, 2026. Gross proceeds, combined with $85.2M in unaudited cash, cash equivalents, and marketable securities as of December 31, 2025, are expected to extend the cash runway into the second half of 2028 to fund clinical milestones for KRRO-121 in urea cycle disorders and the GalNAc-conjugated AATD program. The financing involves selling 4,501,928 common shares at $11.11 each and pre-funded warrants for 3,148,836 shares.

• ·PIPE closing subject to customary conditions on or about March 10, 2026
• ·Placement agents: Citigroup, Cantor, Oppenheimer & Co., William Blair
• ·Company to file SEC registration for resale of PIPE shares and warrant shares
• ·Cash runway extends into second half of 2028

09-03-2026

FTI Consulting, Inc. (NYSE: FCN) elected Angela Nam as Chief Financial Officer effective May 1, 2026, succeeding Paul Linton who served as Interim CFO since September 2025 and will return to his role as Chief Strategy and Transformation Officer. Ms. Nam brings extensive experience, including leading FTAI Aviation Ltd. (NASDAQ: FTAI) through significant growth with revenues increasing from $708M in 2022 to $2.5B in 2025. The company reported $3.80B in FY 2025 revenues and more than 8,100 employees across 32 countries as of December 31, 2025.

• ·Angela Nam previously served as CFO and CAO of FTAI Aviation since August 2022 (CAO from August 2018), Senior VP of Private Equity at Fortress Investment Group, and 10 years at KPMG LLP.
• ·Ms. Nam will be based in FTI's New York City office and serve on the Executive Committee.
• ·FTI services provided through distinct legal entities in certain jurisdictions.

09-03-2026

Lisata Therapeutics, Inc. (Nasdaq: LSTA) has entered a definitive agreement to be acquired by Kuva Labs, Inc. via tender offer at $5.00 per share in cash plus one contingent value right (CVR) for a potential additional $1.00 per share if an NDA or equivalent for certepetide is filed/accepted within 7 years of closing. The board unanimously recommends tendering shares, with closure expected in Q2 2026 subject to customary conditions including majority tender; post-close, LSTA will delist from Nasdaq and deregister as a reporting company. The CVR payout is uncertain and may result in no additional payment if the milestone is unmet.

• ·Tender offer requires majority of outstanding shares; no financing condition.
• ·CVR milestone: NDA or similar filing/acceptance for certepetide prior to 7th anniversary of closing or CVR termination.
• ·Advisors: Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C. (Lisata legal), H.C. Wainwright & Co. (Lisata financial), Goodwin Procter LLP (Kuva legal).

09-03-2026

Gokul Rajaram informed The Trade Desk, Inc. of his resignation from the board of directors on March 3, 2026, effective April 3, 2026; the resignation was not due to any disagreement with the company's operations, policies, or practices. Mr. Rajaram had served on the board since May 2018. The board thanked him for his years of service.

• ·Filing dated March 9, 2026

09-03-2026

Occidental Petroleum (OXY) announced early tender results for its cash tender offers and consent solicitations on several senior notes and debentures, increasing the Aggregate Cap from $700M to $1.2B and fully accepting $21.5M of 0% 2036 Notes and $843.3M of 6.125% 2031 Notes, while prorating acceptance of $335.2M (28.7%) of 6.625% 2030 Notes due to oversubscription. No tenders were accepted for the 7.200% 2029 or 7.950% 2029 Debentures. Requisite consents were obtained only for the 6.125% 2031 Notes amendments, with early settlement on March 9, 2026.

• ·Early Tender Time: 5:00 p.m. NYT on March 4, 2026
• ·Early Settlement Date: March 9, 2026
• ·Tender Offers Expiration Date: March 19, 2026 (unless extended)
• ·Offer to Purchase dated February 19, 2026
• ·Early Tender Premium: $30 per $1,000 principal for accepted notes
• ·Requisite consents not obtained for 6.625% 2030 Notes, 7.200% 2029 Debentures, or 7.950% 2029 Debentures
• ·Accreted value for 0.000% 2036 Notes as of April 10, 2026: approximately $580,925.31 per $1M principal at maturity

09-03-2026

Xencor, Inc. received a notice on March 4, 2026, from Genentech, Inc. and F. Hoffmann-La Roche Ltd terminating their Amended and Restated Collaboration and License Agreement in its entirety for convenience, effective September 4, 2026. The agreement covered efbalropendekin alfa, the sole active collaboration product, which Roche removed from its development pipeline as announced in January 2025. Xencor had anticipated this administrative termination after opting out of co-development and ceasing cost-sharing activities in the first half of 2024.

• ·Agreement effective as of June 1, 2024.
• ·Genentech assumed sole responsibility for clinical, regulatory, and commercial activities after Xencor's opt-out.
• ·Termination elected for convenience.

09-03-2026

On March 5, 2026, Alpha and Omega Semiconductor Limited's Compensation Committee approved an incentive cash bonus plan for the 2026 calendar year, tying executive officer awards to attainment of adjusted earnings per share and revenue goals, with minimum thresholds required for any payout. Bonuses range from $0 to maximums as a percentage of base salary: 220% target for CEO Stephen Chang (target 100%) and 154% for other named executives (target 70%). The full plan details will be filed as an exhibit to the Q1 FY2026 10-Q ending March 31, 2026.

• ·Plan qualified in entirety by full details to be filed in 10-Q for quarter ending March 31, 2026
• ·Aggregate award determined by range of adjusted EPS and revenue attainment levels

09-03-2026

ProFrac Holding Corp. entered into the Ninth Amendment to its Credit Agreement on March 3, 2026, reducing maximum availability to $275M while extending the scheduled maturity by six months to September 3, 2027. SOFR loan margins were revised to start at 1.75%-2.25% with 0.25% step-ups every three months up to 3.00%-3.50%, the unused line fee set at 0.375%, and certain negative covenant exceptions curtailed or removed. The $15M minimum liquidity covenant was replaced with a stricter $45M minimum availability covenant.

• ·Amendment effective March 3, 2026; filed March 9, 2026
• ·Ninth Amendment attached as Exhibit 10.1

09-03-2026

Nu Skin Enterprises Inc. (NYSE: NUS) appointed Chayce Clark as chief operating officer effective March 9, 2026, expanding his responsibilities from chief legal officer to oversee revenue performance, global sales, product innovation, technology platforms, and operations across nearly 50 markets. CEO Ryan Napierski highlighted the move to enhance global integration and execution amid growth opportunities like the Prysm iO platform rollout and India expansion. No financial impacts or performance metrics were disclosed in the announcement.

• ·Chayce Clark joined Nu Skin in 2015 as assistant general counsel, progressed to VP and deputy general counsel, then general counsel.
• ·Nu Skin backed by over 40 years of scientific research.

09-03-2026

Shift4 Payments, Inc. announced that Chief Accounting Officer James (“Jay”) Whalen will resign effective April 3, 2026, to accept a position outside the fintech industry, with no disagreements on operations, policies, or practices. CFO Christopher N. Cruz will be designated as principal accounting officer, and Filippos Mintiloglitis will serve as interim Chief Accounting Officer. CEO Taylor Lauber expressed confidence in the transition, citing the strength of the accounting team and Mintiloglitis's expertise from leading public reporting at Global Blue amid its integration.

• ·Event reported on March 3, 2026; filing dated March 9, 2026.
• ·Whalen's departure not due to any disagreement with Company operations, policies, or practices.
• ·Mintiloglitis brings technical expertise and international experience from Global Blue.

09-03-2026

MiniMed Group, Inc. (Nasdaq: MMED) closed its initial public offering of 28,000,000 shares of common stock at $20.00 per share, generating net proceeds of approximately $538 million after underwriting discounts and expenses. The shares began trading on Nasdaq Global Select Market on March 6, 2026, with Medtronic plc retaining approximately 90.03% ownership. MiniMed plans to use the proceeds for general corporate purposes and to repay intercompany debt to Medtronic.

• ·IPO trading commenced on Nasdaq Global Select Market under symbol 'MMED' on March 6, 2026.
• ·Underwriters: Goldman Sachs & Co. LLC, BofA Securities, Citigroup, Morgan Stanley (active bookrunners); Barclays, Deutsche Bank Securities, Mizuho, Wells Fargo Securities, Evercore ISI, Piper Sandler (joint book-running managers); BTIG, William Blair & Company (co-managers).
• ·Medtronic's preferred path for separation is a split-off.
• ·MiniMed operates in 80 countries with over 40 years of experience in diabetes therapies.

09-03-2026

The RealReal, Inc. announced the appointment of Jennifer McKeehan, COO of Fanatics Commerce, to its Board of Directors effective March 6, 2026, following the departure of Niki Leondakis from her board role on the same date. The company also added Tiffany Stevenson as Chief People Officer and Tom Hanrahan as Chief Revenue Officer to its executive leadership team. These changes are positioned to enhance governance, operational expertise, and growth strategies in luxury resale.

• ·McKeehan previously held senior roles at Walmart, Peloton, and The Home Depot.
• ·Stevenson previously at Weight Watchers, Box, and Sephora.
• ·Hanrahan spent 11 years at Square in executive roles.
• ·Changes effective March 6, 2026; filing dated March 9, 2026.

09-03-2026

Transcat, Inc. (Nasdaq: TRNS) appointed Jaime Irick as President and Chief Executive Officer effective March 29, 2026, succeeding Lee D. Rudow, who is retiring after 14 years but will serve as a senior advisor through March 2027. Irick, a proven leader with experience at Pittsburgh Paints Company (including a $2B carve-out) and PPG Industries (overseeing $3B in revenue and 7,000+ employees), was also added to the Board and Executive Committee. Chairman Gary Haseley highlighted Irick's track record in growth, integrations like the $1.1B Ennis-Flint deal, and shareholder value creation.

• ·Jaime Irick holds a degree in Systems Engineering from the United States Military Academy at West Point and an MBA from Harvard Business School; prior U.S. Army Field Artillery Officer and Airborne Ranger.
• ·Irick plans to meet investors and analysts after Transcat’s Fourth Quarter and Full Year 2026 conference call and webcast.
• ·Transcat provides services to regulated industries including Life Science (pharmaceutical, biotechnology, medical device), aerospace/defense, energy/utilities; operates calibration labs in U.S., Puerto Rico, Canada, Ireland.

09-03-2026

On March 6, 2026, Mathew Tirman, President of Satellogic Inc., notified the company of his voluntary resignation effective March 31, 2026, to pursue other opportunities, with no severance benefits provided. The company has no immediate plans to fill the role and intends to distribute his duties among other executives. This departure occurs amid the company's status as an emerging growth company with Class A Common Stock (SATL) and Warrants (SATLW) listed on Nasdaq Capital Market.

• ·Company address: 210 Delburg Street, Davidson, NC 28036
• ·Telephone: (704) 802-2041
• ·Satellogic Inc. is an emerging growth company
• ·Securities: Class A Common Stock (SATL) and Warrants (SATLW) on Nasdaq Capital Market

09-03-2026

Envirotech Vehicles, Inc. entered into a Securities Purchase Agreement dated March 6, 2026, to issue and sell debentures with an aggregate principal amount of up to $11M ($4M at First Closing and $7M at Second Closing) at a purchase price equal to 96% of the principal amount, along with warrants exercisable into 1,291,778 common shares as a commitment fee. The Second Closing is contingent on the effectiveness of the SEPA Registration Statement and must occur by June 30, 2026. Issuances are subject to a Nasdaq Exchange Cap of 2,584,850 common shares (19.99% of outstanding shares) without shareholder approval.

• ·First Closing to occur on first Business Day conditions are met, at 10:00 a.m. New York time
• ·Second Closing on first Business Day after SEPA Registration Statement declared effective by SEC
• ·Buyer is accredited investor acquiring Securities for investment purposes, not public distribution
• ·Securities include restrictive legends unless registered or Rule 144 applicable

09-03-2026

Humana Inc. priced a $1.0 billion public offering of fixed-to-fixed rate junior subordinated notes due 2056 at 100.000% of principal amount, expected to close on March 9, 2026. Net proceeds of approximately $986 million will be used for general corporate purposes, including repayment of existing indebtedness such as commercial paper borrowings. The offering is led by joint book-running managers including Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Mizuho Securities USA LLC, Truist Securities, Inc., and Wells Fargo Securities, LLC.

• ·Announcement date: March 5, 2026
• ·Offered pursuant to effective shelf registration statement with SEC
• ·Risk disclosure: Medicare Advantage Star Ratings significantly declined in 2025; ongoing lawsuit against 2025 ratings decision appealed October 14, 2025, potentially impacting 2026 quality bonus payments

09-03-2026

Abbott Laboratories filed an 8-K announcing entry into a material agreement for the issuance of multiple series of senior notes, including Floating Rate Notes due 2029, 3.700% Notes due 2029, 4.000% Notes due 2031, 4.300% Notes due 2033, 4.650% Notes due 2036, 4.750% Notes due 2038, 5.500% Notes due 2056, and 5.600% Notes due 2066, creating a direct financial obligation under Items 1.01 and 2.03. Forward-looking statements reference a proposed acquisition of Exact Sciences and the expected use of proceeds from the notes offering, subject to risks and uncertainties. No principal amounts, pricing details, or performance metrics were disclosed.

• ·Filing date: March 09, 2026
• ·Legal opinion provided by Wachtell, Lipton, Rosen & Katz
• ·References risks in Abbott’s Form 10-K for year ended December 31, 2025

09-03-2026

James E. Schisler, Chief Operating Officer of The Brand House Collective, Inc. (TBHC), announced his intent to resign effective March 20, 2026, to pursue other opportunities, with no disagreements with the Company. He will remain in his role until the departure date. The resignation was announced on March 4, 2026, with the 8-K filed on March 9, 2026.

• ·Principal executive offices: 5310 Maryland Way, Brentwood, Tennessee 37027
• ·Telephone: 615-872-4800
• ·Common Stock trading symbol: TBHC on NASDAQ Global Select Market

09-03-2026

Universal Health Services, Inc. entered into a Voting Agreement dated March 9, 2026, with Holders Douglas L. Braunstein, HEC Master Fund LP, and Braunstein 2015 Trust, as a material inducement to proceed with the Merger Agreement involving the merger of UHS Merger Subsidiary, Inc. with Talkspace, Inc. The Holders agree to vote their Existing Shares (as listed in Schedule A) and any New Shares acquired prior to termination in favor of the merger at the Company Stockholders’ Meeting or by written consent. No specific share counts or financial terms are disclosed in the agreement.

• ·Agreement terminates in accordance with Section 5.13 of the document.
• ·Holders represent ownership of Subject Shares free of encumbrances except as permitted under the agreement.
• ·No brokers' fees entitled based on Holders' arrangements.

09-03-2026

Mag Magna Corp. (MGNC) entered into an Equity Purchase Agreement dated February 25, 2026, with Monroe Street Capital Partners, LP, enabling the company to issue and sell up to $30M of common stock to the investor from time to time over a commitment period of up to 24 months. The investor will receive 15,000 initial commitment shares. No financial performance data, period-over-period comparisons, or operational metrics are disclosed in the filing.

• ·Agreement filed as Exhibit 10.1 in 8-K on March 09, 2026, covering Items 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), 3.02 (Unregistered Sales of Equity Securities), and 9.01 (Financial Statements and Exhibits).
• ·Purchase price set at 80% of the lowest traded price on relevant trading days, subject to conditions including effective registration statement and no material adverse effects.
• ·Commitment period ends on the earlier of full $30M utilization, 24 months from execution, company termination notice (with restrictions), registration statement ineffectiveness, or bankruptcy events.

09-03-2026

NIKE, Inc. entered into a new 364-Day Credit Agreement dated March 6, 2026, with Bank of America, N.A. as Administrative Agent, Citibank N.A. and JPMorgan Chase Bank, N.A. as Co-Syndication Agents, and other banks as Co-Documentation Agents and arrangers, providing revolving commitments in USD and alternative currencies including Canadian Dollars, Euros, Sterling, and Yen. The facility features an Applicable Facility Fee Rate of 0.03% and Applicable Margin of 0.595% for Term SOFR/Alternative Currency Loans (0.00% for Base Rate Loans), succeeding the 2025 Credit Agreement dated March 7, 2025. No specific total commitment amount or draws were disclosed.

• ·CUSIP Numbers: Deal - 65410VBA5; Revolving Commitment - 65410VBB3
• ·Alternative Currencies: Canadian Dollars, Euros, Sterling, Yen
• ·Prior agreement: 2025 Credit Agreement dated March 7, 2025

09-03-2026

Ingram Micro Holding Corporation announced the launch of a $200 million secondary offering of its common stock by Ingram Holdco, LLC (an affiliate of Platinum Equity, LLC), with a 30-day underwriter option for an additional $37.5 million; the Selling Stockholder will receive all proceeds, and the Company will receive none. Concurrently, the Company intends to repurchase at least $50 million of its shares directly from the Selling Stockholder at the underwriters' net price, as part of its existing $100 million share repurchase program funded by cash on hand. The repurchase is expected to close with the offering but is not conditioned on it, while the offering closing is not dependent on the repurchase.

• ·Underwriter Representatives: Morgan Stanley & Co. LLC, Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC.
• ·Shelf registration statement on Form S-3 declared effective by SEC.
• ·Announcement date: March 5, 2026; Filing date: March 9, 2026.
• ·Company reaches more than 90% of the global population through IT sales channel.

09-03-2026

West Pharmaceutical Services, Inc. (NYSE: WST) announced that Eric M. Green plans to retire as President, CEO, and Chair of the Board once a successor is hired, with the transition expected in the second half of 2026 to ensure continuity. The Board commended Green's 11-year tenure since April 2015, during which company sales more than doubled and total shareholder return achieved approximately 350%. The company reaffirmed its prior financial guidance, noting FY2025 net sales of $3.07B, over 10,000 team members across 50 sites, and annual delivery of over 41 billion components and devices.

• ·Eric M. Green served as President and CEO since April 2015 and Chair since May 2022.
• ·Board engaging leading executive recruiting firm for successor search.
• ·Guidance reaffirmed from February 12, 2026 press release.

09-03-2026

Unknown Company filed an 8-K on March 9, 2026, disclosing entry into a material Indenture and Security Agreement dated March 5, 2026, between OWL ROCK CLO XXIV, LLC (Issuer) and The Bank of New York Mellon Trust Company, National Association (Collateral Trustee). The agreement provides for the issuance of secured Notes and Class A-L Loans, secured by Collateral Obligations listed in Schedule 1, Accounts, Eligible Investments, and other Assets (excluding Preferred Shares Payment Account). No specific principal amounts, interest rates, or performance metrics are detailed in the filing.

• ·Filing includes Items 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), and 9.01 (Exhibits).
• ·Agreement covers grant of collateral including Collateral Obligations, Accounts, Eligible Investments, and related agreements like Collateral Management Agreement, Class A-L Credit Agreement, and BDC Loan Sale Agreement.

09-03-2026

American Airlines Group Inc. (Parent/Guarantor) and American Airlines, Inc. (Borrower) entered into the Eleventh Amendment to their Amended and Restated Credit and Guaranty Agreement on March 5, 2026, effective upon satisfaction of specified conditions, terminating all existing Revolving Commitments (with no outstanding Revolving Loans) and establishing new 2026 Incremental Revolving Commitments of $1.296B and LC Commitments of $195M provided by designated 2026 Incremental Revolving Lenders and Issuing Lenders. Citibank, N.A. serves as Administrative Agent and is designated as lead arranger and bookrunner. The amendment confirms no Default or Event of Default exists post-effectiveness.

• ·Original Credit Agreement dated April 20, 2015, with prior amendments on October 26, 2015; September 22, 2016; June 14, 2017; August 21, 2017; September 17, 2018; December 10, 2018; November 8, 2019; January 29, 2020; March 13, 2023; and June 4, 2024.
• ·Effectiveness requires officer certificates on Collateral Coverage Ratio and Liquidity, legal opinions from Latham & Watkins LLP, payment of fees including a one-time non-refundable fee per fee letter, and confirmation of no Default or Event of Default.
• ·References audited financials from Form 10-K for fiscal year ended December 31, 2025, and subsequent 8-Ks.

09-03-2026

Aquaron Acquisition Corp., a blank check company (SPAC), issued an unsecured promissory note in the principal amount of $16,198.05 to HUTURE Ltd. on March 6, 2026, in exchange for a deposit into its trust account to extend the deadline for completing a business combination. The interest-free note matures upon closing of the business combination and is convertible into common stock units (one share plus one-fifth right) at $10.00 per unit. No other financial impacts or performance metrics were disclosed.

• ·Note issuance filed under Items 1.01 (Material Definitive Agreement) and 2.03 (Direct Financial Obligation).
• ·Conversion price: $10.00 per unit (one common share + 1/5 right to common share).

09-03-2026

SM Energy Company issued and sold $1.0 billion in aggregate principal amount of 6.625% Senior Notes due 2034 on March 9, 2026, via a Purchase Agreement dated March 4, 2026, with BofA Securities, Inc. as representative of initial purchasers. The Notes, governed by an Indenture with U.S. Bank Trust Company, National Association as trustee, bear 6.625% annual interest payable semi-annually starting October 15, 2026, and mature April 15, 2034, with specified redemption options and covenants limiting debt, dividends, and asset sales. No period-over-period financial metrics are provided in the filing.

• ·Notes offered only to qualified institutional buyers under Rule 144A and non-U.S. persons under Regulation S.
• ·Covenants terminate upon Notes receiving investment grade rating from two Rating Agencies.
• ·Events of default include cross-acceleration for other indebtedness aggregating $100M or more.

09-03-2026

CACI International Inc completed its all-cash acquisition of ARKA Group L.P. for $2.6B on March 9, 2026, adding industry-leading electro-optical/infrared (EO/IR) and hyperspectral imaging capabilities, plus Agentic AI-based software for geospatial intelligence to bolster national security missions. The deal integrates 1,100 ARKA employees into CACI's 27,000-employee workforce, expanding its space-based sensors portfolio and market position. No financial performance declines or flat metrics were reported in connection with the acquisition.

• ·CACI acquired ARKA from funds managed by Blackstone Tactical Opportunities.
• ·Wells Fargo served as CACI's exclusive financial advisor and provided committed financing.
• ·CACI referenced as Fortune World's Most Admired Company, Fortune 500, Russell 1000 Index, and S&P MidCap 400 Index member.
• ·Forward-looking statements subject to risks in CACI’s Form 10-K for fiscal year ended June 30, 2025.

09-03-2026

Planet Fitness, Inc. (PLNT) announced Tom Fitzgerald, former CFO from 2020-2024, as Interim CFO effective March 9, 2026, following Jay Stasz's departure, with a search initiated for a permanent CFO. The company reaffirmed its 2026 financial guidance previously issued on February 24, 2026. No disruptions to operations or guidance noted, highlighting Fitzgerald's extensive experience.

• ·Planet Fitness founded in 1992 in Dover, NH.
• ·Fitzgerald's prior roles include CFO at Potbelly Sandwich Works, President and CFO at Charming Charlie, and COO at Liz Claiborne and Bath & Body Works.
• ·Clubs located in all 50 US states, DC, Puerto Rico, Canada, Panama, Mexico, Australia, and Spain.

09-03-2026

Valero Energy Corporation entered into an underwriting agreement on March 5, 2026, with SMBC Nikko Securities America, Inc., Citigroup Global Markets Inc., MUFG Securities Americas Inc., and Wells Fargo Securities, LLC for the issuance and sale of $850M aggregate principal amount of 5.150% Senior Notes due 2036. The notes are to be issued under an existing indenture dated March 10, 2015, with U.S. Bank Trust Company, National Association as trustee, and the offering is registered under Form S-3 (No. 333-284608). The issuance is expected to close on March 10, 2026.

• ·Underwriting agreement filed as Exhibit 1.1; terms of Notes as Exhibit 4.2; form of Notes as Exhibit 4.3.
• ·Prospectus supplement dated March 5, 2026, filed pursuant to Rule 424(b).
• ·Opinion of Baker Botts L.L.P. provided as Exhibit 5.1.

09-03-2026

Valvoline Inc. appointed Jordan M. Denny, age 36, as Chief Accounting Officer and Controller effective March 6, 2026, succeeding Dione R. Sturgeon, who transitioned to Vice President, Treasurer and Tax. Mr. Denny, a long-time Valvoline executive with prior roles in Corporate Development, Investor Relations, Treasury, Finance, and FP&A, brings internal experience since 2013. His compensation includes an annual base salary of $319,520, 40% target incentive, and a $125,000 FY2026 equity grant (50% RSUs, 50% PSUs).

• ·Mr. Denny holds a Master of Business Administration from the University of Kentucky and is a Certified Management Accountant (CMA).
• ·No transactions required to be reported under Item 404(a) of Regulation S-K involving Mr. Denny and Valvoline.
• ·No family relationships between Mr. Denny and other Valvoline executive officers or Board members.

09-03-2026

Catheter Precision, Inc. adopted a Certificate of Designation for Series [C][D] Convertible Preferred Stock, authorizing issuance of up to an unspecified number of shares pursuant to a Purchase Agreement, with terms including conversion rights and protective covenants. These covenants restrict the Company from incurring new indebtedness (other than Permitted Indebtedness), liens, paying dividends, or engaging in acquisitions, mergers, or asset sales exceeding 10% of assets without Required Holders' consent, applicable while 33.33% of issued shares remain outstanding. Currently, 2,229 preferred shares are issued and outstanding out of 10,000,000 authorized.

• ·Covenants prohibit amendments to charter documents materially adverse to holders (except specific quorum or designation amendments).
• ·Company restricted from Change of Control transactions without consent.
• ·Acquisition limit: no transactions for >10% of total consolidated assets.

09-03-2026

Cannae Funding A, LLC, a subsidiary of Cannae Holdings, Inc., fully prepaid and terminated its Margin Loan Agreement with Bank of America N.A. effective March 6, 2026, by paying the Pay-Off Amount of $58,680.56 consisting entirely of commitment fees (principal and interest at $0). All obligations were discharged, liens on collateral (including shares and cash) automatically terminated, and pledged collateral is to be returned to the borrower. This eliminates the margin loan facility originally dated November 30, 2020, with multiple amendments through August 27, 2025.

• ·Margin Loan Agreement amendments: August 16, 2021; December 10, 2021; January 19, 2022; May 12, 2022; June 16, 2023; August 17, 2023; March 4, 2024; August 27, 2025
• ·Pay-Off Date: March 6, 2026
• ·Governing law: State of New York